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Fund dealers' first CE cycle to kick off on Dec. 1


Examining how taxes, expected investment outcomes and utility can affect asset location

Examining which investment method produces better returns

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Sessions will offer innovative ways to integrate the products into your practice

  • By: Staff
  • September 12, 2019 September 12, 2019
  • 09:31
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Proposed changes, which include late filing fees and suspensions, draw criticism

Review IIROC's proposed changes to its CE rules by Feb. 26

  • By: Staff
  • January 26, 2018 August 21, 2018
  • 16:26

If you’re an MFDA advisor, expect a published rule on continuing education (CE) requirements late this year or early 2018. Read: IIROC continuing education rules are here The self-regulatory organization (SRO) aims for CE requirements “to establish minimum standards for individuals to keep their industry knowledge current and maintain a high standard of professionalism.” Before […]

The SRO is currently reviewing its CE program

Looking to squeeze in credits before year end? We can help.

  • By: Staff
  • December 14, 2016 March 19, 2019
  • 16:37

The authors identify 34 concrete, detailed strategies to improve client relationships, perform better discovery and give better advice.